- Enhanced Due Diligence (34)
- World-Check (34)
- World-Check One (31)
- Screening Resolution Service (30)
- Country Risk Ranking (28)
- Transaction Monitoring (22)
- Client Onboarding (20)
- Org ID (19)
- Enterprise Risk Manager (13)
- AutoAudit (8)
- Compliance Learning (5)
- Compliance Manager (5)
- Thomson Reuters Reference Data (5)
- Conflicts Compliance (3)
- Regulatory Intelligence (1)
Understanding the beneficial ownership of companies has been a legal and regulatory requirement for many years and sits at the heart of financial crime risk mitigation strategies for regulated firms. This paper explores the challenges firms face to make sense of, and comply with, the differing...
This whitepaper explores the results of a survey on enterprise risk management in depth. Conducted by Thomson Reuters, the survey looks at some of the potential reasons why organizations are struggling to deliver shareholder value through their ERM programs – including communication,...
This white paper explores the risk in the supply chains of companies for whom gold is an integral part of their business operations and what steps can be taken to mitigate these risks. To do this, we head down to South America where although artisanal mining for this rare and precious commodity...
Gifts and entertainment are a common part of doing business in order to help cultivate relationships and foster new opportunities, and if conducted properly, should remain a completely acceptable transaction. However, it is up to the compliance teams to ensure all employees have the tools to...
While much of Best Execution mandate has been in place since 2007, when it was introduced by MiFID I, this time around the effect of the legislation is expected to bite much deeper and more broadly.
When making strategic decisions about the allocation of often limited resources, boards and senior managers must consider multiple corporate objectives as well as the portfolio of investment opportunities available. Enterprise Risk and the firm’s risk appetite are also key considerations.
This whitepaper explores the challenges that both organizations and regulators have faced in creating a framework to improve behavior and reduce conduct risk at financial services organizations. It also looks ahead to try and predict some important trends that are emerging around attempts by...
Avoiding the knowledge gap with microlearning: The importance of relevant & repetitive compliance training
Regulatory changes in recent years have led to increasing pressures on companies to ensure they are facilitating and managing the right compliance training program for their employees.
This whitepaper focuses on how insurance regulators are implementing Own Risk and Solvency Assessment (ORSA) frameworks around the world. Review ORSA framework information for 13 jurisdictions and read about the latest changes to ORSA regulatory regimes.
As part of their Know Your Customer (KYC) due diligence process, banks and financial institutions (FIs) have a legal obligation to create and maintain a complete and accurate identity profile for each client with whom they do business.